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Online Resumes with "series 7"



Brokerage Services, New York, NY

Over 12 years combined experience in Client Services, Brokerage, insurance, and Mutual Fund Back Office Operations. I am looking to target a position back into Brokerage Operations, or as a Trader’s Assistant. My goal is to utilize my FINRA Series 7 and 55 licenses.

Tags for this Online Resume: Brokerage, Back Office Operations, Business Analyst, Order Entry - Trader Assistant, Trade Surveillance , Fund Performance

Manager Financial Services Operations - 25 years experience

Manage/Director Operations for a Financial Services Company

Tags for this Online Resume: NASD series 7, NASD series 24, NASD series 65

Fixed Income Trader or Assistant Richmond VA

My career objective is to get back with a brokerage firm or money manager that can utilize my talents.

Tags for this Online Resume: Brokerage, Trading, Compliance, Fixed Income, series 7 24 53 and 63, customer service

Featured Profile

Professional Trader and Financial Analyst

Excellent record of achieving sales growth by increasing market share of existing products and integrating acquired product lines; Unique record of expanding security responsibility and financial achievement across multiple investment functions. Exceptional analytical, strategic planning, and research skills.

Ideal Companies: MORGAN, PIPER JAFFERY, INVESTMENT BANKS

Featured Profile

Wealth Management and Investment Portfolio Management Professional

I am a goal-oriented investment professional with a history of solid investment results in managing equity and fixed income portfolios. Skilled at decision-making within the framework of a disciplined investment process and establishing successful investment strategies. Energetic team player with exceptional ability to motivate team members to excellence. Demonstrated ability to work independently within a corporate stru...

Ideal Companies: AON Hewitt, Atlanta Capital Investment Managers, BB&T Wealth Management, Brinker Capital Management, Bryn Mawr Trust, Callan Associates Inc., Federated Investments, Fidelity, First Citizens Bank of NC, Hancock Bank, Invesco, Lowry Hill Capital Management, Piedmont Investors, PNC Wealth Management, Regions Bank, Ronald Blue and Co, RW Baird, Sageworth Investment Advisors, Sterling Capital Management, SunTrust, Susquehanna Wealth Management, Synovus, T. Rowe Price, UMB Bancshares, Vanguard, Willis Investment Counsel, Wilmington Trust Investment Advisors

Tags for this Online Resume: Chief Investment Officer, Portfolio manager, problem solving, leadership, compliance officer, equity, fixed income, Team Building, strategy development, Relationship Management, Business development

Chief Compliance Officer, Privacy Officer, Anti-Money Laundry Officer

I am the Chief Compliance Officer, Anti-Money Laundry Officer, and Privacy Officer with a number of years in securities brokerage/investment advisory and insurance compliance. I oversee the brokerage, investment advisory and insurance areas; however, I am seeking out new opportunities. I hold a number of FINRA designations (Series 7,24,53,63,66), am a licensed insurance producer in Illinois, and am a Certified Regulator...

Retirement Advisor Manager, Houston

To enhance current skills while learning new skills which may broaden my value to the company with which I partner

Tags for this Online Resume: Series 7, Group 1 Insurance License, Series 63 and 66, Senior Financial Planner/Advisor, Retirement planning, Seminar training

Featured Profile

registered rep - series 7 - brokerage experience

Tags for this Online Resume: brokerage, series 7, customer service, registered rep, client services , operations

Featured Profile

Finance Analyst/Manager - Oil and Gas Finance, Transaction Support, Due Diligence, Business Development and Field Data Analytics/Reporting (1.5 years) - former Investment Banking Analyst, Transaction Advisor and Office Supervisor (3 years) - Civil Enginee

Seeking full-time (long-term) employment with an oil and gas company finance team to incorporate my technical engineering background, investment banking experience and finance capabilities into project and company based finance objectives, from reporting to analytics based decision making needs.

Tags for this Online Resume: Finance, Produced Water, Engineering, Analyst

Relocate to Portland, Maine

Relocate to Portland, Maine. Willing to change careers.

Tags for this Online Resume: series 7, manager, bilingual, spanish